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ENFORCEMENT SEC. OF MASS. v. SCOTTRADE, INC.,

Civil Action No. 18-10508-NMG.

327 F.Supp.3d 345 (2018)

ENFORCEMENT SECTION OF the MASSACHUSETTS SECURITIES DIVISION OF the OFFICE OF the SECRETARY OF the COMMONWEALTH, Plaintiff, v. SCOTTRADE, INC., Defendant.

United States District Court, D. Massachusetts.

Signed August 16, 2018.

Editors Note
Applicable Law: 28 U.S.C. § 1331
Cause: 28 U.S.C. § 1331 Fed. Question
Nature of Suit: 899 Other Statutes: Administrative Procedures Act / Review or Appeal of Agency Decision
Source: PACER

Attorney(s) appearing for the Case

Bryan J. Lantagne , Secretary of State's Office, Pierce O. Cray , Attorney General's Office, Amanda I. Morejon , Massachusetts Attorney General's Office, Boston, MA, for Plaintiff.

Cameron S. Matheson , Murphy & McGonigle, P.C., Glen Allen, VA, Christian R. Bartholomew , Pro Hac Vice, Jenner & Block, LLP, Washington, DC, John K. Wells , Pete S. Michaels , Greenberg Traurig LLP, Boston, MA, for Defendant.

MEMORANDUM & ORDER

This is a dispute between the Enforcement Section of the Massachusetts Securities Division of the Office of the Secretary of the Commonwealth ("the Enforcement Section" or "plaintiff") and Scottrade, Inc., a Massachusetts registered broker-dealer ("Scottrade" or "defendant"). Plaintiff alleges...

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